CHAPTER 2B— SECURITIES EXCHANGES
Current through Public Law 118-3 (04/10/2023), except 118-328.
Sections
- § 78a Short title
- § 78b Necessity for regulation
- § 78c Definitions and application
- § 78c–1 Swap agreements
- § 78c–2 Securities-related derivatives
- § 78c–3 Clearing for security-based swaps
- § 78c–4 Security-based swap execution facilities
- § 78c–5 Segregation of assets held as collateral in security-based swap transactions
- § 78d Securities and Exchange Commission
- § 78d–1 Delegation of functions by Commission
- § 78d–2 Transfer of functions with respect to assignment of personnel to chairman
- § 78d–3 Appearance and practice before the Commission
- § 78d–4 Additional duties of Inspector General
- § 78d–5 Deadline for completing enforcement investigations and compliance examinations and inspections
- § 78d–6 Report and certification of internal supervisory controls
- § 78d–7 Triennial report on personnel management
- § 78d–8 Annual financial controls audit
- § 78d–9 Report on oversight of national securities associations
- § 78e Transactions on unregistered exchanges
- § 78f National securities exchanges
- § 78g Margin requirements
- § 78h Restrictions on borrowing and lending by members, brokers, and dealers
- § 78i Manipulation of security prices
- § 78j Manipulative and deceptive devices
- § 78j–1 Audit requirements
- § 78j–2 Position limits and position accountability for security-based swaps and large trader reporting
- § 78j–3 Compensation committees
- § 78j–4 Recovery of erroneously awarded compensation policy
- § 78k Trading by members of exchanges, brokers, and dealers
- § 78k–1 National market system for securities; securities information processors
- § 78l Registration requirements for securities
- § 78l–1 Applications for unlisted trading privileges deemed filed under section 78l of this title
- § 78m Periodical and other reports
- § 78m–1 Reporting and recordkeeping for certain security-based swaps
- § 78m–2 Reporting requirements regarding coal or other mine safety
- § 78n Proxies
- § 78n–1 Shareholder approval of executive compensation
- § 78n–2 Corporate governance
- § 78o Registration and regulation of brokers and dealers
- § 78o–1 Brokers deemed to be registered
- § 78o–2 Liabilities arising prior to amendment unaffected
- § 78o–3 Registered securities associations
- § 78o–4 Municipal securities
- § 78o–4a Commission Office of Municipal Securities
- § 78o–5 Government securities brokers and dealers
- § 78o–6 Securities analysts and research reports
- § 78o–7 Registration of nationally recognized statistical rating organizations
- § 78o–8 Universal ratings symbols
- § 78o–9 Study and rulemaking on assigned credit ratings
- § 78o–10 Registration and regulation of security-based swap dealers and major security-based swap participants
- § 78o–11 Credit risk retention
- § 78p Directors, officers, and principal stockholders
- § 78q Records and reports
- § 78q–1 National system for clearance and settlement of securities transactions
- § 78q–2 Automated quotation systems for penny stocks
- § 78r Liability for misleading statements
- § 78s Registration, responsibilities, and oversight of self-regulatory organizations
- § 78t Liability of controlling persons and persons who aid and abet violations
- § 78t–1 Liability to contemporaneous traders for insider trading
- § 78u Investigations and actions
- § 78u–1 Civil penalties for insider trading
- § 78u–2 Civil remedies in administrative proceedings
- § 78u–3 Cease-and-desist proceedings
- § 78u–4 Private securities litigation
- § 78u–5 Application of safe harbor for forward-looking statements
- § 78u–6 Securities whistleblower incentives and protection
- § 78u–7 Implementation and transition provisions for whistleblower protection
- § 78v Hearings by Commission
- § 78w Rules, regulations, and orders; annual reports
- § 78x Public availability of information
- § 78y Court review of orders and rules
- § 78z Unlawful representations
- § 78aa Jurisdiction of offenses and suits
- § 78aa–1 Special provision relating to statute of limitations on private causes of action
- § 78bb Effect on existing law
- § 78cc Validity of contracts
- § 78dd Foreign securities exchanges
- § 78dd–1 Prohibited foreign trade practices by issuers
- § 78dd–2 Prohibited foreign trade practices by domestic concerns
- § 78dd–3 Prohibited foreign trade practices by persons other than issuers or domestic concerns
- § 78ee Transaction fees
- § 78ff Penalties
- § 78gg Separability
- § 78hh Effective date
- § 78hh–1 Effective date of certain sections
- § 78ii Omitted omitted
- § 78jj Repealed. Pub. L. 100–181, title III, § 330, Dec. 4, 1987, 101 Stat. 1259 repealed
- § 78kk Authorization of appropriations
- § 78ll Requirements for the EDGAR system
- § 78mm General exemptive authority
- § 78nn Tennessee Valley Authority
- § 78oo Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks
- § 78pp Investor Advisory Committee
- § 78qq Small Business Capital Formation Advisory Committee
- § 78rr Data standards for security-based swap reporting